Regulations (FAIS)
UNUM Holdings (Pty) Ltd, a company with registration number 2023/629369/07, includes its parent companies, subsidiaries and sister companies inter alia:
UNUM Capital (Pty) Ltd with registration number 1999/008361/07, FSP No. 564
Unum Trade (Pty) Ltd with registration number 2021/459193/07, FSP No. 52193
UNUM Wealth (Pty) Ltd with registration number 2015/253501/07, FSP No. 48804
Koinz (Pty) Ltd) with registration number 2022/235484/07, CASP FSP No. 53477
The above companies are collectively referred to as the UNUM Group of companies.
UNUM Capital (Pty) Ltd, is an authorised Financial Services Provider (FSP 564), offering advice and Intermediary services (Cat I) and / or discretionary (Cat II & IIA) portfolio management.
UNUM Trade (Pty) Ltd, is an authorised Financial Services Provider (FSP 2193), offering advice and / or intermediary financial services as a Cat I and II licensed FSP.
UNUM Wealth (Pty) Ltd, is an authorised Financial Services Provider (CASP FSP 48804), offering wealth management advice and intermediary services as a Cat I licensed FSP.
Koinz (Pty) Ltd, is an authorised Crypto Asset Service Provider (CASP No. 53477), offering advice and Intermediary services (Cat I) on crypto-assets.
The aforementioned FSPs are not over-the-counter (ODP) derivatives providers and do not, as a feature of their business act as principal, originate, issue, sell or make a market in over-the-counter (OTC) derivatives.
All Client trades are fully hedged with regulated local and/or Foreign over-the-counter derivatives providers, including the group company UNUM Prime (Pty) Ltd, an authorised ODP with license number: 081.
Regulations (FMA)
UNUM Prime (Pty) Ltd is an authorised OTC Derivative Provider ("ODP") with registration number: 2020/679752/07 and ODP license number: 081.
An ODP means a provider who as a regular feature of its business, transacts as principal and who originates, issues or sells OTC derivatives and/or makes a market in OTC derivative(s).
An OTC derivative(s) refers to financial contracts that is traded directly between two parties, outside of a centralised exchange, excluding foreign exchange spot contracts and physically settled commodity derivatives.
UNUM Prime offers a “Swap”, ‘TRS” or “Total Return Swap", meaning an OTC derivative in which one party receives the full returns, including income and capital gains or losses, of an underlying reference asset, while the other party pays a fixed or floating rate in exchange.